SRIAX: Gabelli ESG A

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SRIAX Gabelli ESG A


Profile

SRIAX - Profile

Vitals

  • YTD Return -24.0%
  • 3 Yr Annualized Return -12.9%
  • 5 Yr Annualized Return -7.0%
  • Net Assets $35.5 M
  • Holdings in Top 10 33.8%

52 WEEK LOW AND HIGH

$10.25
$8.99
$15.31

Expenses

OPERATING RELATED FEES

  • Expense Ratio 1.87%

SALES FEES

  • Front Load 5.75%
  • Deferred Load N/A

BROKERAGE FEES

  • Turnover 29.00%

TRADING FEES

  • Max Redemption Fee 2.00%

Min Investment

Closed to new investors as of Jan 27, 2020
  • Standard (Taxable) $1,000
  • IRA $250

Fund Classification

  • Primary Caregory
  • Fund Type Open End Mutual Fund
  • Investment Style Large Blend

Distributions

  • YTD Total Return -24.0%
  • 3 Yr Annualized Total Return -12.9%
  • 5 Yr Annualized Total Return -7.0%
  • Capital Gain Distribution Frequency None
  • Net Income Ratio 0.51%
DIVIDENDS
  • Dividend Yield 0.0%
  • Dividend Distribution Frequency Annually

Fund Details

  • Legal Name
    Gabelli ESG Fund
  • Fund Family Name
    Gabelli
  • Inception Date
    Jun 01, 2007
  • Shares Outstanding
    N/A
  • Share Class
    A
  • Currency
    USD
  • Domiciled Country
    United States
  • Manager
    Christopher Desmarais

Fund Description

The fund seeks to achieve its objective by investing substantially all, and in any case no less than 80%, of its assets in common and preferred stocks of companies that meet the fund's guidelines for social responsibility at the time of investment. It may also invest in foreign securities, including those in emerging markets, and in securities that are convertible into common stocks. The Adviser employs a social screening overlay process at the time of investment to identify companies that meet the fund's social guidelines.


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Categories

Performance

SRIAX - Performance

Return Ranking - Trailing

Period SRIAX Return Category Return Low Category Return High Rank in Category (%)
YTD -24.0% -39.7% 6.0% 81.14%
1 Yr -26.6% -43.3% 32.8% 96.58%
3 Yr -12.9%* -45.6% 48.4% 95.47%
5 Yr -7.0%* -30.6% 21.0% 90.08%
10 Yr -0.1%* -9.6% 14.4% 76.95%

* Annualized

Return Ranking - Calendar

Period SRIAX Return Category Return Low Category Return High Rank in Category (%)
2019 7.8% -14.9% 45.5% 94.68%
2018 -21.5% -73.8% 141.8% 83.76%
2017 7.5% -76.0% 54.2% 92.86%
2016 6.3% -12.7% 13.9% 14.56%
2015 -5.2% -36.4% 17.2% 63.29%

Total Return Ranking - Trailing

Period SRIAX Return Category Return Low Category Return High Rank in Category (%)
YTD -24.0% -39.7% 6.0% 81.14%
1 Yr -26.6% -43.3% 32.8% 96.58%
3 Yr -12.9%* -32.6% 48.4% 97.94%
5 Yr -7.0%* -20.9% 21.0% 95.44%
10 Yr -0.1%* -9.6% 14.4% 91.41%

* Annualized

Total Return Ranking - Calendar

Period SRIAX Return Category Return Low Category Return High Rank in Category (%)
2019 7.8% -14.9% 45.5% 94.68%
2018 -21.5% -73.8% 140.6% 88.85%
2017 7.5% 1.5% 54.2% 97.19%
2016 6.3% -8.8% 17.1% 26.25%
2015 -5.2% -36.4% 18.6% 82.74%

NAV & Total Return History


Holdings

SRIAX - Holdings

Concentration Analysis

SRIAX Category Low Category High SRIAX % Rank
Net Assets 35.5 M 218 K 107 B 82.75%
Number of Holdings 84 12 9861 61.54%
Net Assets in Top 10 13.9 M 236 K 20.3 B 82.42%
Weighting of Top 10 33.78% 7.3% 64.4% 35.23%

Top 10 Holdings

  1. Sony Corp ADR 4.09%
  2. Xylem Inc 3.78%
  3. Danone SA 3.59%
  4. Conagra Brands Inc 3.58%
  5. Nestle SA 3.44%
  6. Bristol-Myers Squibb Company 3.26%
  7. NextEra Energy Inc 3.24%
  8. CNH Industrial NV 3.04%
  9. Watts Water Technologies Inc A 2.91%
  10. Alphabet Inc A 2.85%

Asset Allocation

Weighting Return Low Return High SRIAX % Rank
Stocks
98.80% 2.12% 100.68% 37.91%
Cash
1.20% -3.48% 89.42% 58.97%
Preferred Stocks
0.00% 0.00% 6.41% 99.27%
Other
0.00% -1.56% 20.43% 95.97%
Convertible Bonds
0.00% 0.00% 5.19% 99.27%
Bonds
0.00% -11.97% 19.84% 99.08%

Stock Sector Breakdown

Weighting Return Low Return High SRIAX % Rank
Financial Services
20.02% -3.32% 41.08% 21.06%
Industrials
18.22% -5.03% 26.12% 4.40%
Consumer Defense
15.82% -1.09% 28.55% 8.61%
Communication Services
13.07% -0.46% 68.40% 24.73%
Healthcare
11.66% -4.43% 31.80% 71.43%
Technology
10.22% 0.00% 45.83% 91.03%
Consumer Cyclical
5.12% 1.76% 38.94% 95.24%
Utilities
3.28% -0.68% 12.90% 23.44%
Basic Materials
1.56% -0.64% 9.77% 76.19%
Real Estate
1.03% -1.40% 12.56% 64.10%
Energy
0.00% 0.00% 11.01% 100.00%

Stock Geographic Breakdown

Weighting Return Low Return High SRIAX % Rank
US
70.23% -69.13% 76.88% 4.76%
Non US
28.57% -0.77% 165.28% 87.73%

Expenses

SRIAX - Expenses

Operational Fees

SRIAX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 1.87% 0.08% 44.68% 25.84%
Management Fee 1.00% 0.07% 1.75% 93.77%
12b-1 Fee 0.25% 0.00% 1.00% 58.50%
Administrative Fee N/A 0.01% 0.65% N/A

Sales Fees

SRIAX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load 5.75% 0.10% 5.75% 46.34%
Deferred Load N/A 1.00% 5.00% N/A

Trading Fees

SRIAX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee 2.00% 0.10% 2.00% 90.91%

Related Fees

Turnover provides investors a proxy for the trading fees incurred by mutual fund managers who frequently adjust position allocations. Higher turnover means higher trading fees.

SRIAX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover 29.00% 1.00% 995.00% 42.51%

Distributions

SRIAX - Distributions

Dividend Yield Analysis

SRIAX Category Low Category High SRIAX % Rank
Dividend Yield 0.00% 0.00% 22.72% 99.27%

Dividend Distribution Analysis

SRIAX Category Low Category High Category Mod
Dividend Distribution Frequency Annually Annually Monthly Annually

Net Income Ratio Analysis

SRIAX Category Low Category High SRIAX % Rank
Net Income Ratio 0.51% -2.05% 7.25% 66.23%

Capital Gain Distribution Analysis

SRIAX Category Low Category High Capital Mode
Capital Gain Distribution Frequency None Annually Semi-Annually Annually

Dividend Payout History

View More +

Fund Manager Analysis

SRIAX - Fund Manager Analysis

Managers

Christopher Desmarais


Start Date

Tenure

Tenure Rank

Jun 01, 2007

12.76

12.8%

Mr. Christopher C. Desmarais, a portfolio manager for the firm, is a Managing Director of GAMCO Asset Management Inc. (“GAMCO”), another wholly owned subsidiary of GBL, as well as its Director of Socially Responsive Investments. Since joining GAMCO in 1993, Mr. Desmarais has been actively involved in expanding GBL’s capabilities and involvement in the field of Socially Responsible Investing. He is the Chair of the Charles F. Dolan School of Business Advisory Council at Fairfield University. Mr. Desmarais is a graduate of Fairfield University with a B.A. in Economics.

Christopher Marangi


Start Date

Tenure

Tenure Rank

Oct 05, 2011

8.41

8.4%

Christopher J. Marangi joined GAMCO in 2003 as an equity research analyst responsible for companies in the Cable, Satellite and Entertainment sectors, Mr. Marangi's experience includes 5+ years with Wellspring and JPMorgan. Mr. Marangi graduated magna cum laude and Phi Beta Kappa with a B.A. in Political Economy from Williams College and holds an M.B.A. with honors from the Columbia Graduate School of Business

Kevin Dreyer


Start Date

Tenure

Tenure Rank

Oct 05, 2011

8.41

8.4%

Mr. Dreyer, a Managing Director of GBL and Co-Chief Investment Officer of GBL’s Value Team, manages a portion of the Fund’s assets. He joined GBL in 2005 as a research analyst. Mr. Dreyer currently serves as a portfolio manager for the Adviser managing several funds within the Gabelli/GAMCO Fund Complex and GAMCO on its institutional and high net worth separate accounts team. Mr. Dreyer holds a M.B.A. from Columbia Business School and a B.S.E. from the University of Pennsylvania.

Melody Prenner Sarnell


Start Date

Tenure

Tenure Rank

Feb 01, 2019

1.08

1.1%

Prenner Sarnell joined John A. Levin & Co. in 1984 and currently serves as a securities analyst. She began her investment career in 1983 with John M. Blewer. Prenner Sarnell was born in 1958.

Ian Lapey


Start Date

Tenure

Tenure Rank

Feb 01, 2019

1.08

1.1%

Mr. Ian Lapey was most recently a Research Analyst and Partner at Moerus Capital Management LLC. Prior to joining Moerus, he was a Partner, Research Analyst, and Portfolio Manager at Third Avenue Management. Prior to joining Third Avenue in 2001, Mr. Lapey held equity research analyst positions at Credit Suisse First Boston and Salomon Brothers. Mr. Lapey holds a B.A. in Economics from Williams College, a Masters in Accounting from Northeastern University, and an M.B.A. in Finance and Statistics from the Stern School of Business at New York University.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.08 29.18 6.76 14.25